[Federal Register Volume 69, Number 70 (Monday, April 12, 2004)]
[Notices]
[Pages 19194-19206]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 04-8207]


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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Substance Abuse and Mental Health Services Administration


Notice of Request for Applications for Grant Program To Provide 
Substance Abuse Treatment and Reentry Services to Sentenced Juveniles 
and Young Adult Offenders Returning to the Community From the 
Correctional System (Short Title: Young Offender Reentry Program) (TI 
04-002)

    Authority: Section 509 of the Public Health Service Act, as 
amended and subject to the availability of funds.

AGENCY: Substance Abuse and Mental Health Services Administration, HHS.

ACTION: Notice of request for applications for Grant Program to Provide 
Substance Abuse Treatment and Reentry Services to Sentenced Juveniles 
and Young Adult Offenders Returning to the Community from the 
Correctional System (Short Title: Young Offender Reentry Program) (TI 
04-002).

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SUMMARY: The United States Department of Health and Human Services 
(HHS), Substance Abuse and Mental Health Services Administration's 
(SAMHSA) Center for Substance Abuse Treatment (CSAT) is accepting 
applications for fiscal year (FY) 2004 grants to expand and/or enhance 
substance abuse treatment and related reentry services in agencies 
currently providing supervision of and services to sentenced juvenile 
and young adult offenders returning to the community from incarceration 
for criminal/juvenile offenses. Applicants are expected to form 
stakeholder partnerships that will plan, develop and provide community-
based substance abuse treatment and related reentry services for the 
targeted populations. Because reentry transition must begin in the 
correctional or juvenile facility before release, funding may be used 
for limited activities in institutional correctional settings in 
addition to the expected community-based services.

DATES: Applications are due on June 15, 2004.

FOR FURTHER INFORMATION CONTACT: For questions on program issues, 
contact: Kenneth W. Robertson, Team Leader, Systems Improvement Branch, 
Division of Services Improvement, SAMHSA/CSAT, 5600 Fishers Lane, 
Rockwall II, Suite 740, Rockville, MD 20857, Phone: (301) 443-7612, 
Fax: (301) 443-8345, E-mail: [email protected].
    For questions on grants management issues, contact: Kathleen 
Sample, Division of Grants Management, Substance Abuse and Mental 
Health Services Administration/OPS, 5600 Fishers Lane, Rockwall II 6th 
Floor, Rockville, MD 20857, Phone: (301) 443-9667, Fax: (301) 443-6468, 
E-mail: [email protected].

SUPPLEMENTARY INFORMATION:
    Catalogue of Federal Domestic Assistance (CFDA) No.: 93.243.

Key Dates

    Application Deadline: June 15, 2004
    Intergovernmental Review (E.O. 12372): Letters from State Single 
Point of Contact (SPOC) are due no later than 60 days after application 
deadline.
    Public Health System Impact Statement (PHSIS)/Single State Agency 
Coordination: Applicants must send the PHSIS to appropriate State and 
local health agencies by application deadline. Comments from Single 
State Agency are due no later than 60 days after application deadline.
    Date of Issuance: April 2004.

Table of Contents

I. Funding Opportunity Description
1. Introduction
2. Expectations
II. Award Information
    1. Award Amount
    2. Funding Mechanism
III. Eligibility Information
    1. Eligible Applicants
    2. Cost Sharing or Matching
    3. Other
IV. Application and Submission Information
    1. Address To Request Application Package
    2. Content and Form of Application Submission
    3. Submission Dates and Times
    4. Intergovernmental Review (E.O. 12372) Requirements
    5. Funding Limitations/Restrictions
    6. Other Submission Requirements
V. Application Review Information
    1. Evaluation Criteria
    2. Review and Selection Process
VI. Award Administration Information
    1. Award Notices
    2. Administrative and National Policy Requirements
    3. Reporting
VII. Agency Contacts
Appendix A--Checklist for Formatting Requirements and Screenout 
Criteria for SAMHSA Grant Applications
Appendix B--Glossary
Appendix C--Statement of Assurance

I. Funding Opportunity Description

1. Introduction

    As authorized under section 509 of the Public Health Service Act, 
the Substance Abuse and Mental Health Services Administration (SAMHSA), 
Center for Substance Abuse Treatment (CSAT), announces the availability 
of Fiscal Year 2004 grants to expand and/or enhance substance abuse 
treatment and related reentry services in agencies currently providing 
supervision of and services to sentenced juvenile and young adult 
offenders returning to the community from incarceration for criminal/
juvenile offenses. Applicants are expected to form stakeholder 
partnerships that will plan, develop and provide community-based 
substance abuse treatment and related reentry services for the targeted 
populations. Because reentry transition must begin in the correctional 
or juvenile facility before release, funding may be used for limited 
activities in institutional correctional settings in addition to the 
expected community-based services. (Note: see Expectations section 
below for allowable services in incarcerated settings.)

[[Page 19195]]

2. Expectations

2.1 Target Population
    This program addresses the needs of sentenced substance-abusing 
juveniles and young adult offenders returning to their families and 
community from adult or juvenile incarceration in facilities including 
prisons, jails, or juvenile detention centers. This grant program is 
not designed to address the needs of individuals in custody or 
detention settings awaiting adjudication, or sentenced to residential 
treatment facilities, or school-based programs.
    SAMHSA/CSAT will award grants to applicants proposing to serve one 
of two specific young offender population categories:
    Juveniles: Those sentenced offenders 14 years up to 18 years old 
under the jurisdiction of the juvenile justice system. (In those State 
jurisdictions where juvenile justice supervision extends up past 18 
years of age, those ``juveniles'' are eligible to be served.)
    Young Adult Offenders: Those sentenced offenders up to 24 years of 
age under the supervision of the adult criminal justice system.
    The applicant organization must clearly state in the application 
Abstract and in the Project Narrative which population is to be served 
and the number of clients to be served each year.
    In addition to qualifying as either a ``juvenile offender'' or a 
``young adult offender'' as defined above, individuals must meet the 
following qualifications to receive services funded under this grant 
program. They must:
     Be assessed as substance-abusing or diagnosed as 
having a substance abuse disorder;
     Have been sentenced by the criminal or juvenile 
justice system to incarceration;
     If incarcerated, be within one year of scheduled 
release to the community in order to receive services in the 
correctional/detention setting (including limited assessment, 
transition planning, and systems coordination).--[Note: see Section I-
2.4 Expectations, Required Systems Linkages and Services/Treatment of 
this Request for Applications (RFA)]; and
     If already released to the community from 
incarceration, be within 60 days of release from incarceration and 
under some form of juvenile/criminal supervision.
2.2 Background
    Statistics regarding juvenile offenders indicate that ``juveniles 
were involved in 16 percent of all violent crime arrests and 32 percent 
of all property crimes in 1999. . .'' As the trend toward confining 
greater numbers of juveniles and young offenders continues, so does the 
growing number of young offenders reentering our communities. An 
estimated 100,000 youth are released from secure and residential 
facilities and returned to the community each year. Research also shows 
that a small percentage of juveniles commit an overwhelming majority of 
juvenile crime, and that a substantial number of these juvenile and 
young adult offenders are substance-involved or have substance abuse 
disorders.
    Over the past decade, awareness of the issue of the need for a 
continuing care system for juvenile and young adult offenders has grown 
as States and local communities have struggled with the increasing 
number of these individuals returning to the community after release 
from correctional confinement. Often the juvenile or adult criminal 
justice system has services and structures in place for these offenders 
at entry into the system (i.e., at pre-trial or adjudication), but 
there are few and fragmented services in place for these young 
offenders as they are released from correctional settings. Reentry into 
the community and reintegration into the family are risky times for 
these offenders and their families. The U.S. Department of Justice's 
Office of Juvenile Justice and Delinquency Prevention (OJJDP) indicates 
that in the first year following release, young offenders re-offend at 
a rate of sixty-three (63) percent. Substance abuse treatment for 
offenders in prison and in the community has been extensively studied 
and evaluated over the past several years, and the results are 
consistent and clear--treatment works, reducing crime and recidivism. 
SAMHSA/CSAT recognizes the need to successfully return and reintegrate 
these youths into the community by providing substance abuse treatment 
and other related reentry services while also ensuring public safety 
for the community and family. This program builds on previous and 
ongoing SAMHSA/CSAT criminal and juvenile justice program initiatives, 
and builds on learning gained from these previous initiatives.
2.3 Required Letters of Support From Proposed Key Stakeholders
    SAMHSA/CSAT is seeking applications from individual organizations 
that have or will form partnerships with key stakeholders such as 
criminal/juvenile agencies (as appropriate to the juvenile or young 
adult population specified in your application), alcohol and drug abuse 
agencies, substance abuse treatment providers and community-based 
organizations providing treatment-related wrap around services for 
family and community reintegration. Therefore, all eligible entities 
that apply are required to provide in Appendix 2 of the application, 
``Letters of Support and Commitment,'' (as appropriate to the proposed 
approach) from key partners. Examples of key partners include:
     The State or local Department of Corrections;
     The State or local Alcohol and Drug Abuse 
Agency;
     The State or local Mental Health Agency;
     The State or local juvenile/criminal justice 
agency responsible for community supervision upon release from 
incarceration (such as parole authority, after release judicial or 
probation agency, reentry court, community corrections supervision 
authority, youth release authority);
     Community-based substance abuse treatment 
agencies whose services will be used (Note: see Section III-3.2 
Eligibility Information/Other/Evidence of Experience and Credentials); 
and
     Other Federal, State, or local government 
agencies and community-based organizations including faith-based 
organizations, whose services will be used for ancillary reentry 
services, including housing assistance, job skills development, 
employment assistance, educational and vocational assistance, and 
family counseling, among other services.
    Applications submitted by Indian Tribes and tribal organizations 
for juveniles and young adults returning from Tribal or Federal 
facilities must include the appropriate Tribal or Federal stakeholder 
agencies/organizations in lieu of State or local governmental entities, 
as appropriate.
    Letters of support and commitment must include:
     The agency/organization's commitment to 
participate;
     The proposed role and level of support of the 
stakeholder agency/organization; and
     The signature of the head of the agency/
organization.
    Because SAMHSA/CSAT recognizes that each State, Tribe, and local 
community differs in its ability to immediately implement the proposed 
services, awarded grantees will be allowed up to 6 months of the first 
year of the grant to develop any appropriate systems coordination among 
governmental agencies and community-based organizations, and to start 
the

[[Page 19196]]

implementation of the proposed services expansion and/or enhancement. 
Applicants should clearly indicate the period of time, up to 6 months, 
needed in year one to develop a systems coordination plan and implement 
proposed services to the target population.
2.4 Required Systems Linkages and Services/Treatment
    Offender reentry, often called reintegration or continuing care, is 
the process an offender in a juvenile or adult correctional facility 
goes through as he/she transitions from the institution to the 
community.
    SAMHSA/CSAT has a substantial interest in funding projects that 
provide both systems linkages and services/treatment for the reentering 
young offender. Applications must propose to address both of these 
areas, and funds must be used to support the following activities:
    Systems Linkages: Activities that support communities in their 
development of a comprehensive, multi-agency approach to expanding and/
or enhancing substance abuse treatment in addition to juvenile/criminal 
justice supervision to targeted juveniles and young adults leaving 
incarceration and returning to the community and to their families (No 
more than 15% of the total grant award may be used for Systems Linkages 
activities).
    Upon release of the offender to the community, funds should be used 
to provide effective, comprehensive substance abuse and related reentry 
services to the target population. The following represents a 
comprehensive but not inclusive range of systems linkage coordination 
activities to be provided, and for which funds may be used.
    1. Systems coordination planning and developmental activities that 
bring all the key stakeholder agencies/organizations together.
    2. The development of systems linkages and referral sources in the 
community.
    3. Efforts to increase treatment capacity to provide immediate 
entry into substance abuse treatment.
    4. Assistance in paying for Department of Labor Bonding for 
employment of the substance-abusing offender.
    Services/Treatment: Activities that improve the health of the 
targeted clients by:
     Providing comprehensive substance abuse 
treatment for the client diagnosed as having a substance abuse 
disorder;
     Improving family functioning;
     Helping clients develop job skills and find 
jobs;
     Reducing the likelihood the client will be re-
arrested; and
     Reducing the crime rate and the number of 
victims.
    The following represents a comprehensive but not inclusive range of 
treatment services to be provided, and for which funds may be used.
    1. Alcohol and drug (substance abuse) treatment.
    2. Wrap around services supporting the access to and retention in 
substance abuse treatment or to address the treatment-specific needs of 
clients during or following a substance abuse treatment episode.
    3. Screening, assessment, case management, program management and 
referrals related to substance abuse treatment for clients.
    4. Comprehensive individual assessment for alcohol and drug abuse.
    5. Individualized services planning.
    6. Case management, using a team approach that includes juvenile or 
adult criminal justice supervising authorities, substance abuse 
treatment professionals, existing treatment alternatives organizations 
such as TASC or similar treatment referral and case management models, 
and law enforcement as appropriate to the community setting.
    7. Drug testing as required for supervision, treatment compliance, 
and therapeutic intervention.
    8. Support in obtaining a GED and/or other necessary education.
    9. Relapse prevention and long-term management support.
    10. As appropriate for juvenile populations, continuing care 
programming, including peer support groups and mentoring services.
    Because CSAT's focus is on the return of the young offender to the 
community, the expectation is that most proposed treatment and related 
reentry services will be provided in the community. However, 
recognizing that effective offender reentry requires assessment and 
release planning while the offender is incarcerated, limited funds (no 
more than 15% of the total grant award) may be used for certain 
activities inside juvenile or adult institutional correctional settings 
for:
    1. Systems coordination planning and developmental activities that 
bring together all the key stakeholder agencies/organizations 
identified in the Letters of Support and Commitment to form 
partnerships that will plan, develop, and provide substance abuse 
treatment and related reentry services in the community.
    2. The development of systems linkages and referral processes in 
both institutional and communities settings.
    3. Purchase and/or administration of brief diagnostic and screening 
tools for identification of substance abuse issues for the targeted 
offender population.
    4. Purchase and/or administration of substance abuse instruments 
for the targeted offender population.
    5. Intake and/or case management staff with substance abuse 
treatment expertise to administer assessment instruments and to assist 
correctional staff in developing the individual offender transition 
plans for reentry into the community.
    6. Community-based organizations, including faith-based groups, to 
go inside the correctional institution to begin wraparound transition 
planning activities such as, but not limited to, jobs skills planning 
or educational program planning for community follow-up upon release.
2.5 Recommended Treatment Models for Youth
    Applicants are encouraged, when appropriate for their setting and 
population, to choose the assessment instrument and one of the 
treatment protocols listed below. The assessment instrument, the 
treatment protocols, and other supporting materials are available at 
http://www.chestnut.org/LI/APSS/CSAT/protocols/. If you experience any 
difficulty accessing this site, please contact Dan Foust at 309-820-
3543, ext. 8-3421 or by email at [email protected].
    The majority of CSAT's grantees providing services to youth are 
using a standardized comprehensive bio-psycho-social assessment: The 
Global Appraisal of Individual Needs. The cost for licensing, software, 
training, and certification will be borne by CSAT for successful 
applicants who choose to use this assessment instrument. Successful 
applicants who use this instrument will also have the opportunity to 
participate with other grantees in ongoing studies on youth treatment 
outcomes.
    Two of CSAT's earlier grant programs: Cannabis Youth Treatment 
(CYT), and Adolescent Treatment Models (ATM) tested and manualized a 
number of effective treatment interventions for youth with substance 
use disorders. The Assertive Continuing Care (ACC) intervention has 
also been used successfully by CSAT grantees. These adolescent 
treatment services interventions range from brief outpatient through 
long-term residential models. Applicants are encouraged to adopt/adapt 
one of these protocols as their treatment intervention. Training and 
technical assistance for implementation of these treatment

[[Page 19197]]

protocols will be available for successful applicants.
    As indicated previously, applicants may propose a planning phase of 
up to six months of the first year of funding for systems linkages 
activities. However, even with unexpected delays that may occur, 
grantees must begin delivery of treatment and reentry services by the 
end of the first year in order to receive continuation funding for 
additional years.
2.6 Grantee Meetings
    You must plan to send a minimum of two people (including the 
Project Director) to at least one joint grantee meeting in each year of 
the grant, and you must include funding for this travel in your budget. 
At these meetings, grantees will present the results of their projects 
and Federal staff will provide technical assistance. Each meeting will 
be 3 days. These meetings will usually be held in the Washington, DC, 
area, and attendance is mandatory.
2.7 Data and Performance Measurement
    The Government Performance and Results Act of 1993 (Pub. L. 103-62, 
or ``GPRA'') requires all Federal agencies to set program performance 
targets and report annually on the degree to which the previous year's 
targets were met.
    Agencies are expected to evaluate their programs regularly and to 
use results of these evaluations to explain their successes and 
failures and justify requests for funding.
    To meet the GPRA requirements, SAMHSA must collect performance data 
(i.e., ``GPRA data'') from grantees. Grantees are required to report 
these GPRA data to SAMHSA on a timely basis. Specifically, grantees 
will be required to provide data on a set of required measures 
explained below.
    For adults receiving services, GPRA indicators include changes in a 
positive direction or stability over time on each of five measures, 
showing that adults receiving your services:
     Are currently employed or engaged in productive 
activities;
     Have a permanent place to live in the community;
     Have reduced their involvement with the criminal 
justice system;
     Have not used illegal drugs or misused alcohol 
or prescription drugs during the past month; and
     Have experienced reduced health, behavior, or 
social consequences related to abuse of alcohol or illegal drugs or 
misuse of prescription drugs.
    For youth/adolescents under age 18 receiving services, GPRA 
indicators include changes in a positive direction or stability over 
time on five measures, showing that youth/adolescents receiving your 
services:
     Are attending school;
     Are residing in a stable living environment;
     Have no involvement in the juvenile justice 
system;
     Have not used alcohol or illegal drugs or 
misused prescription drugs during the previous month; and
     Have experienced reduced health, behavior, or 
social consequences related to use of alcohol, abuse of illegal drugs, 
or misuse of prescription drugs.
    GPRA data must be collected at baseline (i.e., the client's entry 
into the project), 6 months after the baseline, and 12 months after the 
baseline. Projects serving adolescents also must collect 3 month post-
baseline data to capture the nuances of change particular to this 
population. GPRA data must be entered into the GPRA web system within 7 
business days of the forms being completed. In addition, 80% of the 
participants must be followed up.
    The data collection tool, Targeted Capacity Expansion Client Level 
GPRA Tool, to be used for reporting the required data will be provided 
in the application kits distributed by the National Clearinghouse for 
Alcohol and Drug Information (NCADI) and can be found at www.csat-gpra.samhsa.gov. (Click on ``Data Collection Tools/Instructions.'' Then 
click on ``Targeted Capacity Expansion Program,'' then ``GPRA Tool.'')
    In your application, you must demonstrate your ability to collect 
and report on these measures. GPRA data are to be collected and then 
entered into CSAT's GPRA Data Entry and Reporting System (www.csat-gpra.samhsa.gov). Training and technical assistance on data collecting, 
tracking, and follow-up, as well as data entry, will be provided by 
CSAT.
    The terms and conditions of the grant award also will specify the 
data to be submitted and the schedule for submission. Grantees will be 
required to adhere to these terms and conditions of award.
    Applicants should be aware that SAMHSA is working to develop a set 
of required core performance measures for four types of grants (i.e., 
Services Grants, Infrastructure Grants, Best Practices Planning and 
Implementation Grants, and Service-to-Science Grants). As this effort 
proceeds, some of the data collection and reporting requirements 
included in this RFA may change. All grantees will be expected to 
comply with any changes in data collection requirements that occur 
during the grantee's project period.
2.8 Evaluation
    Grantees must evaluate their projects, and you are required to 
describe your evaluation plans in your application. The evaluation 
should be designed to provide regular feedback to the project to 
improve services. The evaluation must include both process and outcome 
components. Process and outcome evaluations must measure change 
relating to project goals and objectives over time compared to baseline 
information. Control or comparison groups are not required. You must 
consider your evaluation plan when preparing the project budget.
    Process components should address issues such as:
     How closely did implementation match the plan?
     What types of deviation from the plan occurred?
     What led to the deviations?
     What effect did the deviations have on the 
planned intervention and evaluation?
     Who provided (program, staff) what services 
(modality, type, intensity, duration), to whom (individual 
characteristics), in what context (system, community), and at what cost 
(facilities, personnel, dollars)?
    Outcome components should address issues such as:
     What was the effect of treatment on 
participants?
     What program/contextual factors were associated 
with outcomes?
     What individual factors were associated with 
outcomes?
     How durable were the effects?
    No more than 20% of the total grant award may be used for 
evaluation and data collection, including GPRA.

II. Award Information

1. Award Amount

    It is expected that $6 million will be available to fund up to 12-
14 awards in FY 2004. The average annual award will range from $300,000 
to $500,000 in total costs (direct and indirect). Applicants may 
request up to but no more than $500,000 in total costs (direct and 
indirect) per year in any year of the grant project. The actual amount 
available for the awards may vary, depending on unanticipated program 
requirements and the number and quality of the applications received.
    Awards may be requested for up to 4 years. Applicants may request 
up to six months of the first year for systems coordination planning 
and development. The planning phase is to be followed by the 
implementation of the reentry work plan including the delivery of 
treatment and other reentry services.

[[Page 19198]]

    Annual continuation awards will depend on the availability of 
funds, grantee progress in meeting project goals and objectives, and 
timely submission of required data and reports.

2. Funding Mechanism

    Awards for this funding opportunity will be made as grants (see the 
Glossary in Appendix B for further explanation of this funding 
mechanism).

III. Eligibility Information

1. Eligible Applicants

    Eligible applicants are domestic public and private nonprofit 
entities. For example, State, local or tribal governments; public or 
private universities and colleges; courts; community- and faith-based 
organizations; and tribal organizations may apply. The statutory 
authority for this program prohibits grants to for-profit 
organizations.
    While units of government may apply, they may not submit ``pass 
through,'' ``umbrella,'' or ``cover letter'' applications. This means 
that as the applicant, a unit of government, must take an active role 
in the oversight of the project, coordinate with the treatment services 
providers, and be legally, fiscally, and administratively responsible 
for the grant.

2. Cost-Sharing

    Cost-sharing (see Glossary) is not required in this program, and 
applications will not be screened out on the basis of cost-sharing. 
However, you may include cash or in-kind contributions (see Glossary) 
in your proposal as evidence of commitment to the proposed project.

3. Other

3.1 Additional Eligibility Requirements
    Applicants must comply with the following requirements or they will 
be screened out and will not be reviewed: use of the PHS 5161-1 
application; application submission requirements in Section IV-3 of 
this document; and formatting requirements provided in Section IV-2.3 
of this document.
3.2 Evidence of Experience and Credentials
    SAMHSA believes that only existing, experienced, and appropriately 
credentialed organizations with demonstrated infrastructure and 
expertise will be able to provide required services quickly and 
effectively. Therefore, in addition to the basic eligibility 
requirements specified in this announcement, applicants must meet three 
additional requirements related to the provision of treatment or 
prevention services.
    The three requirements are:
     A provider organization for direct client 
substance abuse treatment services appropriate to the grant must be 
involved in each application. The provider may be the applicant or 
another organization committed to the project. More than one provider 
organization may be involved;
     Each direct service provider organization must 
have at least 2 years experience providing services in the geographic 
area(s) covered by the application, as of the due date of the 
application; and
     Each direct service provider organization must 
comply with all applicable local (city, county) and State/tribal 
licensing, accreditation, and certification requirements, as of the due 
date of the application.

    [Note: The above requirements apply to all service provider 
organizations. A license from an individual clinician will not be 
accepted in lieu of a provider organization's license.]

    In Appendix 1 of the application, you must: (1) Identify at least 
one experienced, licensed service provider organization; (2) include a 
list of all direct service provider organizations that have agreed to 
participate in the proposed project, including the applicant agency if 
the applicant is a treatment service provider organization; and (3) 
include the Statement of Assurance (provided in Appendix C of this 
announcement), signed by the authorized representative of the applicant 
organization identified on the face-page of the application, that all 
participating service provider organizations:
     Meet the 2-year experience requirement
     Meet applicable licensing, accreditation, and 
certification requirements, and,
     If the application is within the funding range, 
will provide the Government Project Officer (GPO) with the required 
documentation within the time specified.
    If Appendix 1 of the application does not contain items (1)-(3), 
the application will be considered ineligible and will not be reviewed.
    In addition, if, following application review, an application's 
score is within the fundable range for a grant award, the GPO will call 
the applicant and request that the following documentation be sent by 
overnight mail:
     A letter of commitment that specifies the nature 
of the participation and what service(s) will be provided from every 
service provider organization that has agreed to participate in the 
project;
     Official documentation that all participating 
organizations have been providing relevant services for a minimum of 2 
years before the date of the application in the area(s) in which the 
services are to be provided; and
     Official documentation that all participating 
service provider organizations comply with all applicable local (city, 
county) and State/tribal requirements for licensing, accreditation, and 
certification or official documentation from the appropriate agency of 
the applicable State/tribal, county, or other governmental unit that 
licensing, accreditation, and certification requirements do not exist.
    If the GPO does not receive this documentation within the time 
specified, the application will be removed from consideration for an 
award and the funds will be provided to another applicant meeting these 
requirements.

IV. Application and Submission Information

    To ensure that you have met all submission requirements, a 
checklist is provided for your use in Appendix A of this document.

1. Address To Request Application Package

    You may request a complete application kit by calling SAMHSA's 
National Clearinghouse for Alcohol and Drug Information (NCADI) at 1-
800-729-6686.
    You also may download the required documents from the SAMHSA Web 
site at www.samhsa.gov. Click on ``grant opportunities.''
    Additional materials available on this Web site include:
     A technical assistance manual for potential 
applicants;
     Standard terms and conditions for SAMHSA grants;
     Guidelines and policies that relate to SAMHSA 
grants (e.g., guidelines on cultural competence, consumer and family 
participation, and evaluation); and
     Enhanced instructions for completing the PHS 
5161-1 application.

2. Content and Form of Application Submission

2.1 Required Documents
    SAMHSA application kits include the following documents:
     PHS 5161-1 (revised July 2000)--Includes the 
face page, budget forms,

[[Page 19199]]

assurances, certification, and checklist. Applications that are not 
submitted on the required application form will be screened out and 
will not be reviewed.
     Request for Applications (RFA)--Includes 
instructions for the grant application. This document is the RFA.
    You must use the above documents in completing your application.
2.2 Required Application Components
    To ensure equitable treatment of all applications, applications 
must be complete. In order for your application to be complete, it must 
include the required ten application components (Face Page, Abstract, 
Table of Contents, Budget Form, Project Narrative and Supporting 
Documentation, Appendices, Assurances, Certifications, Disclosure of 
Lobbying Activities, and Checklist).
     Face Page--Use Standard Form (SF) 424, which is 
part of the PHS 5161-1. [Note: Beginning October 1, 2003, applicants 
will need to provide a Dun and Bradstreet (DUNS) number to apply for a 
grant or cooperative agreement from the Federal Government. SAMHSA 
applicants will be required to provide their DUNS number on the face 
page of the application. Obtaining a DUNS number is easy and there is 
no charge. To obtain a DUNS number, access the Dun and Bradstreet Web 
site at www.dunandbradstreet.com or call 1-866-705-5711. To expedite 
the process, let Dun and Bradstreet know that you are a public/private 
nonprofit organization getting ready to submit a Federal grant 
application.]
     Abstract--Your total abstract should not be 
longer than 35 lines. In the first five lines or less of your abstract, 
write a summary of your project that can be used, if your project is 
funded, in publications, reporting to Congress, or press releases. 
Indicate the total number of clients to be treated in each year of the 
grant, and which population (juveniles or young adult offenders) will 
be served.
     Table of Contents--Include page numbers for each 
of the major sections of your application and for each appendix.
     Budget Form--Use SF 424A, which is part of the 
PHS 5161-1. Fill out Sections B, C, and E of the SF 424A.
     Project Narrative and Supporting Documentation--
The Project Narrative describes your project. It consists of Sections A 
through D. Sections A-D together may not be longer than 25 pages. More 
detailed instructions for completing each section of the Project 
Narrative are provided in ``Section V--Application Review Information'' 
of this document.
    The Supporting Documentation provides additional information 
necessary for the review of your application. This supporting 
documentation should be provided immediately following your Project 
Narrative in Sections E through H. There are no page limits for these 
sections, except for Section G, the Biographical Sketches/Job 
Descriptions.
     Section E--Literature Citations. This section 
must contain complete citations, including titles and all authors, for 
any literature you cite in your application.
     Section F--Budget Justification, Existing 
Resources, Other Support. You must provide a narrative justification of 
the items included in your proposed budget, as well as a description of 
existing resources and other support you expect to receive for the 
proposed project. Be sure to show that no more than 15% of the total 
grant award will be used for certain activities inside juvenile or 
adult institutional correctional settings and for systems linkages 
activities, respectively, and that no more than 20% of the total grant 
award will be used for data collection and evaluation, including GPRA.
     Section G--Biographical Sketches and Job 
Descriptions.

--Include a biographical sketch for the Project Director and other key 
positions. Each sketch should be 2 pages or less. If the person has not 
been hired, include a letter of commitment from the individual with a 
current biographical sketch.
--Include job descriptions for key personnel. Job descriptions should 
be no longer than 1 page each.
--Sample sketches and job descriptions are listed on page 22, Item 6 in 
the Program Narrative section of the PHS 5161-1.

     Section H--Confidentiality and SAMHSA 
Participant Protection/Human Subjects. Section IV-2.4. of this document 
describes requirements for the protection of the confidentiality, 
rights and safety of participants in SAMHSA-funded activities. This 
section also includes guidelines for completing this part of your 
application.
     Appendices 1 through 5--Use only the appendices 
listed below. Do not use more than 30 pages for Appendices 1, 4 and 5. 
There are no page limitations for Appendices 2 and 3. Do not use 
appendices to extend or replace any of the sections of the Project 
Narrative. Reviewers will not consider them if you do.

--Appendix 1: Evidence of Experience and Credentials. Identification of 
at least one experienced, licensed service provider organization. A 
list of all direct service provider organizations that have agreed to 
participate in the proposed project, including the applicant agency, if 
it is a treatment service provider organization. The Statement of 
Assurance (provided in Appendix C of this announcement) signed by the 
authorized representative of the applicant organization identified on 
the face page of the application, that assures SAMHSA that all listed 
providers meet the 2-year experience requirement, are appropriately 
licensed, accredited, and certified, and that if the application is 
within the funding range for an award, the applicant will send the GPO 
the required documentation within the specified time.
--Appendix 2: Letters of Support and Commitment from stakeholders and 
project participants. (As indicated in Section I-2.3, Expectations, 
Required Letters of Support from Proposed Key Stakeholders.)
--Appendix 3: Data Collection Instruments/Interview Protocols.
--Appendix 4: Sample Consent Forms.
--Appendix 5: Letter to the SSA (if applicable; see Section IV-4 of 
this document).
     Assurances--Non-Construction Programs. Use 
Standard Form 424B found in PHS 5161-1. Because grantees in the YORP 
program will use grant funds to provide direct substance abuse 
services, applicants are required to complete the Assurance of 
Compliance with SAMHSA Charitable Choice Statutes and Regulations, Form 
SMA 170. This form will be posted on SAMHSA's Web site with the RFA and 
provided in the application kits available at NCADI.
     Certifications--Use the ``Certifications'' forms 
found in PHS 5161-1.
     Disclosure of Lobbying Activities--Use Standard 
Form LLL found in the PHS 5161-1. Federal law prohibits the use of 
appropriated funds for publicity or propaganda purposes, or for the 
preparation, distribution, or use of the information designed to 
support or defeat legislation pending before the Congress or State 
legislatures. This includes ``grass roots'' lobbying, which consists of 
appeals to members of the public suggesting that they contact their 
elected representatives to indicate their support for or opposition to 
pending legislation or to urge those representatives to vote in a 
particular way.
     Checklist--Use the Checklist found in PHS 5161-
1. The Checklist ensures that you have obtained the proper

[[Page 19200]]

signatures, assurances and certifications and is the last page of your 
application.
2.3 Application Formatting Requirements
    Applicants also must comply with the following basic application 
requirements. Applications that do not comply with these requirements 
will be screened out and will not be reviewed.
     Information provided must be sufficient for 
review.
     Text must be legible.

--Type size in the Project Narrative cannot exceed an average of 15 
characters per inch, as measured on the physical page. (Type size in 
charts, tables, graphs, and footnotes will not be considered in 
determining compliance.)
--Text in the Project Narrative cannot exceed 6 lines per vertical 
inch.

     Paper must be white paper and 8.5 inches by 11.0 
inches in size.
     To ensure equity among applications, the amount 
of space allowed for the Project Narrative cannot be exceeded.

--Applications would meet this requirement by using all margins (left, 
right, top, bottom) of at least one inch each, and adhering to the 25-
page limit for the Project Narrative.
--Should an application not conform to these margin or page limits, 
SAMHSA will use the following method to determine compliance: The total 
area of the Project Narrative (excluding margins, but including charts, 
tables, graphs and footnotes) cannot exceed 58.5 square inches 
multiplied by 25. This number represents the full page less margins, 
multiplied by the total number of allowed pages.
--Space will be measured on the physical page. Space left blank within 
the Project Narrative (excluding margins) is considered part of the 
Project Narrative, in determining compliance.

     The 30-page limit for Appendices 1, 4 and 5 
cannot be exceeded.
    To facilitate review of your application, follow these additional 
guidelines. Failure to adhere to the following guidelines will not, in 
itself, result in your application being screened out and returned 
without review. However, following these guidelines will help reviewers 
to consider your application.
     Pages should be typed single-spaced with one 
column per page.
     Pages should not have printing on both sides.
     Please use black ink and number pages 
consecutively from beginning to end so that information can be located 
easily during review of the application. The cover page should be page 
1, the abstract page should be page 2, and the table of contents page 
should be page 3. Appendices should be labeled and separated from the 
Project Narrative and budget section, and the pages should be numbered 
to continue the sequence.
     Send the original application and two copies to 
the mailing address in Section IV-6.1 of this document. Please do not 
use staples, paper clips, and fasteners. Nothing should be attached, 
stapled, folded, or pasted. Do not use heavy or lightweight paper or 
any material that cannot be copied using automatic copying machines. 
Odd-sized and oversized attachments such as posters will not be copied 
or sent to reviewers. Do not include videotapes, audiotapes, or CD-
ROMs.
2.4 SAMHSA Confidentiality and Participant Protection Requirements and 
Protection of Human Subjects Regulations
    You must describe your procedures relating to Confidentiality, 
Participant Protection and the Protection of Human Subjects Regulations 
in Section H of your application, using the guidelines provided below. 
Problems with confidentiality, participant protection, and protection 
of human subjects identified during peer review of your application may 
result in the delay of funding.
    Confidentiality and Participant Protection: All applicants must 
address each of the following elements relating to confidentiality and 
participant protection. You must describe how you will address these 
requirements.
1. Protect Clients and Staff from Potential Risks
     Identify and describe any foreseeable physical, 
medical, psychological, social and legal risks or potential adverse 
effects as a result of the project itself or any data collection 
activity.
     Describe the procedures you will follow to 
minimize or protect participants against potential risks, including 
risks to confidentiality.
     Identify plans to provide guidance and 
assistance in the event there are adverse effects to participants.
     Where appropriate, describe alternative 
treatments and procedures that may be beneficial to the participants. 
If you choose not to use these other beneficial treatments, provide the 
reasons for not using them.
2. Fair Selection of Participants
     Describe the target population(s) for the 
proposed project. Include age, gender, and racial/ethnic background and 
note if the population includes homeless youth, foster children, 
children of substance abusers, pregnant women, or other targeted 
groups.
     Explain the reasons for including groups of 
pregnant women, children, people with mental disabilities, people in 
institutions, prisoners, and individuals who are likely to be 
particularly vulnerable to HIV/AIDS.
     Explain the reasons for including or excluding 
participants.
     Explain how you will recruit and select 
participants. Identify who will select participants.
3. Absence of Coercion
     Explain if participation in the project is 
voluntary or required. Identify possible reasons why participation is 
required, for example, court orders requiring people to participate in 
a program.
     If you plan to compensate participants, state 
how participants will be awarded incentives (e.g., money, gifts, etc.).
     State how volunteer participants will be told 
that they may receive services intervention even if they do not 
participate in or complete the data collection component of the 
project.
4. Data Collection
     Identify from whom you will collect data (e.g., 
from participants themselves, family members, teachers, others). 
Describe the data collection procedures and specify the sources for 
obtaining data (e.g., school records, interviews, psychological 
assessments, questionnaires, observation, or other sources). Where data 
are to be collected through observational techniques, questionnaires, 
interviews, or other direct means, describe the data collection 
setting.
     Identify what type of specimens (e.g., urine, 
blood) will be used, if any. State if the material will be used just 
for evaluation or if other use(s) will be made. Also, if needed, 
describe how the material will be monitored to ensure the safety of 
participants.
     Provide in Appendix 3, ``Data Collection 
Instruments/Interview Protocols,'' copies of all available data 
collection instruments and interview protocols that you plan to use.
5. Privacy and Confidentiality
     Explain how you will ensure privacy and 
confidentiality. Include who will collect data and how it will be 
collected.
     Describe:

--How you will use data collection instruments.

[[Page 19201]]

--Where data will be stored.
--Who will or will not have access to information.
--How the identity of participants will be kept private, for example, 
through the use of a coding system on data records, limiting access to 
records, or storing identifiers separately from data.

    Note: If applicable, grantees must agree to maintain the 
confidentiality of alcohol and drug abuse client records according 
to the provisions of title 42 of the Code of Federal Regulations, 
part II.

6. Adequate Consent Procedures
     List what information will be given to people 
who participate in the project. Include the type and purpose of their 
participation. Identify the data that will be collected, how the data 
will be used and how you will keep the data private.
     State:

--Whether or not their participation is voluntary.
--Their right to leave the project at any time without problems.
--Possible risks from participation in the project.
--Plans to protect clients from these risks.

     Explain how you will get consent for youth, the 
elderly, people with limited reading skills, and people who do not use 
English as their first language.

    Note: If the project poses potential physical, medical, 
psychological, legal, social or other risks, you must obtain written 
informed consent.

     Indicate if you will obtain informed consent 
from participants or assent from minors along with consent from their 
parents or legal guardians. Describe how the consent will be 
documented. For example: Will you read the consent forms? Will you ask 
prospective participants questions to be sure they understand the 
forms? Will you give them copies of what they sign?
     Include, as appropriate, sample consent forms 
that provide for: (1) Informed consent for participation in service 
intervention; (2) informed consent for participation in the data 
collection component of the project; and (3) informed consent for the 
exchange (releasing or requesting) of confidential information. The 
sample forms must be included in Appendix 4 ``Sample Consent Forms'', 
of your application. If needed, give English translations.

    Note: Never imply that the participant waives or appears to 
waive any legal rights, may not end involvement with the project, or 
releases your project or its agents from liability for negligence.

     Describe if separate consents will be obtained 
for different stages or parts of the project. For example, will they be 
needed for both participant protection in treatment intervention and 
for the collection and use of data?
     Additionally, if other consents (e.g., consents 
to release information to others or gather information from others) 
will be used in your project, provide a description of the consents. 
Will individuals who do not consent to having individually identifiable 
data collected for evaluation purposes be allowed to participate in the 
project?
7. Risk/Benefit Discussion
    Discuss why the risks are reasonable compared to expected benefits 
and importance of the knowledge from the project.
    Protection of Human Subjects Regulations. Depending on the 
evaluation and data collection requirements of the particular funding 
opportunity for which you are applying or the evaluation design you 
propose in your application, you may have to comply with the Protection 
of Human Subjects Regulations (45 CFR 46).
    Applicants must be aware that even if the Protection of Human 
Subjects Regulations do not apply to all projects funded under a given 
funding opportunity, the specific evaluation design proposed by the 
applicant may require compliance with these regulations.
    Applicants whose projects must comply with the Protection of Human 
Subjects Regulations must describe the process for obtaining 
Institutional Review Board (IRB) approval fully in their applications. 
While IRB approval is not required at the time of grant award, these 
applicants will be required, as a condition of award, to provide the 
documentation that an Assurance of Compliance is on file with the 
Office for Human Research Protections (OHRP) and the IRB approval has 
been received prior to enrolling any clients in the proposed project.
    Additional information about Protection of Human Subjects 
Regulations can be obtained on the Web at http://ohrp.osophs.dhhs.gov. 
You may also contact OHRP by e-mail ([email protected]) or by phone 
(301/496-7005).

3. Submission Dates and Times

    The deadline for submission of applications for YORP is June 15, 
2004.
    Your application must be received by the application deadline. 
Applications received after this date must have a proof-of-mailing date 
from the carrier dated at least 1 week prior to the due date. Private 
metered postmarks are not acceptable as proof of timely mailing.
    You will be notified by postal mail that your application has been 
received.
    Applications not received by the application deadline or not 
postmarked by a week prior to the application deadline will be screened 
out and will not be reviewed.

4. Intergovernmental Review (E.O. 12372) Requirements

    Executive Order 12372, as implemented through Department of Health 
and Human Services (DHHS) regulation at 45 CFR part 100, sets up a 
system for State and local review of applications for Federal financial 
assistance. A current listing of State Single Points of Contact (SPOCs) 
is included in the application kit and can be downloaded from the 
Office of Management and Budget (OMB) Web site at www.whitehouse.gov/omb/grants/spoc.html.
     Check the list to determine whether your State 
participates in this program. You do not need to do this if you are a 
federally recognized Indian tribal government.
     If your State participates, contact your SPOC as 
early as possible to alert him/her to the prospective application(s) 
and to receive any necessary instructions on the State's review 
process.
     For proposed projects serving more than one 
State, you are advised to contact the SPOC of each affiliated State.
     The SPOC should send any State review process 
recommendations to the following address within 60 days of the 
application deadline: Substance Abuse and Mental Health Services 
Administration, Office of Program Services, Review Branch, 5600 Fishers 
Lane, Room 17-89, Rockville, Maryland, 20857, ATTN: SPOC--Funding 
Announcement No. TI 04-002.
    In addition, community-based, non-governmental service providers 
who are not transmitting their applications through the State must 
submit a Public Health System Impact Statement or PHSIS (approved by 
OMB under control no. 0920-0428; see burden statement below) to the 
head(s) of the appropriate State and local health agencies in the 
area(s) to be affected no later than the pertinent receipt date for 
applications. The PHSIS is intended to keep State and local health 
officials informed of proposed health services grant applications 
submitted by community-based, non-governmental organizations within 
their jurisdictions. State and local governments and Indian tribal

[[Page 19202]]

government applicants are not subject to the following Public Health 
System Reporting Requirements.
    This PHSIS consists of the following information:
     a copy of the face page of the application (SF 
424); and
     a summary of the project, no longer than one 
page in length, that provides: (1) A description of the population to 
be served, (2) a summary of the services to be provided, and (3) a 
description of the coordination planned with appropriate State or local 
health agencies.
    For SAMHSA grants, the appropriate State agencies are the Single 
State Agencies (SSAs) for substance abuse and mental health. A listing 
of the SSAs can be found on SAMHSA's Web site at www.samhsa.gov. If the 
proposed project falls within the jurisdiction of more than one State, 
you should notify all representative SSAs.
    Applicants who are not the SSA must include a copy of a letter 
transmitting the PHSIS to the SSA in Appendix 5, ``Letter to the SSA.'' 
The letter must notify the State that, if it wishes to comment on the 
proposal, its comments should be sent not later than 60 days after the 
application deadline to:
    Substance Abuse and Mental Health Services Administration, Office 
of Program Services, Review Branch, 5600 Fishers Lane, Room 17-89, 
Rockville, Maryland, 20857, ATTN: SSA--Funding Announcement No. TI 04-
002.
    In addition:
     Applicants may request that the SSA send them a 
copy of any State comments.
     The applicant must notify the SSA within 30 days 
of receipt of an award.

[Public reporting burden for the Public Health System Reporting 
Requirement is estimated to average 10 minutes per response, including 
the time for copying the face page of SF 424 and the abstract and 
preparing the letter for mailing. An agency may not conduct or sponsor, 
and a person is not required to respond to, a collection of information 
unless it displays a currently valid OMB control number. The OMB 
control number for this project is 0920-0428. Send comments regarding 
this burden to CDC Clearance Officer, 1600 Clifton Road, MS D-24, 
Atlanta, GA 30333, ATTN: PRA (0920-0428)].

5. Funding Limitations/Restrictions

    Cost principles describing allowable and unallowable expenditures 
for Federal grantees, including SAMHSA grantees, are provided in the 
following documents:
     Institutions of Higher Education: OMB Circular 
A-21
     State and Local Governments: OMB Circular A-87
     Nonprofit Organizations: OMB Circular A-122
     Appendix E Hospitals: 45 CFR Part 74
    In addition, YORP grant recipients must comply with the following 
funding restrictions:
     No more than 15% of the total grant award may be 
used for systems linkages activities.
     No more than 15% of the total grant award may be 
used for activities inside juvenile or adult correctional facilities.
     No more than 20% of the total grant award may be 
used for evaluation and data collection, including GPRA.
    YORP grant funds must be used for purposes supported by the program 
and may not be used to:
     Pay for any lease beyond the project period.
     Provide services to incarcerated populations 
(defined as those persons in jail, prison, detention facilities, or in 
custody where they are not free to move about in the community), except 
as noted in the Expectations Section of this RFA.
     Pay for the purchase or construction of any 
building or structure to house any part of the program. (Applicants may 
request up to $75,000 for renovations and alterations of existing 
facilities, if necessary and appropriate to the project.)
     Provide residential or outpatient treatment 
services when the facility has not yet been acquired, sited, approved, 
and met all requirements for human habitation and services provision. 
(Expansion or enhancement of existing residential services is 
permissible.)
     Pay for housing other than residential substance 
abuse treatment.
     Provide inpatient treatment or hospital-based 
detoxification services. Residential services are not considered to be 
inpatient or hospital-based services.
     Pay for incentives to induce individuals to 
enter treatment. However, a grantee or treatment provider may provide 
up to $20 or equivalent (coupons, bus tokens, gifts, child care, and 
vouchers) to individuals as incentives to participate in required data 
collection follow-up. This amount may be paid for participation in each 
required interview.
     Implement syringe exchange programs, such as the 
purchase and distribution of syringes and/or needles.
     Pay for pharmacologies for HIV antiretroviral 
therapy, sexually transmitted diseases (STD)/sexually transmitted 
illnesses (STI), TB, and hepatitis B and C, or for psychotropic drugs.
     Provide any services in a program implementing 
stated ``harm reduction'' philosophy or practice.

6. Other Submission Requirements

6.1 Where To Send Applications
    Send applications to the following address: Substance Abuse and 
Mental Health Services Administration, Office of Program Services, 
Review Branch, 5600 Fishers Lane, Room 17-89, Rockville, Maryland, 
20857.
    Be sure to include ``YORP, TI 04-002'' in item number 10 on the 
face page of the application. If you require a phone number for 
delivery, you may use (301) 443-4266.
6.2 How To Send Applications
    Mail an original application and 2 copies (including appendices) to 
the mailing address provided above. The original and copies must not be 
bound. Do not use staples, paper clips, or fasteners. Nothing should be 
attached, stapled, folded, or pasted.
    You must use a recognized commercial or governmental carrier. Hand 
carried applications will not be accepted. Faxed or e-mailed 
applications will not be accepted.

V. Application Review Information

1. Evaluation Criteria

    Your application will be reviewed and scored according to the 
quality of your response to the requirements listed below for 
developing the Project Narrative (Sections A-D). These sections 
describe what you intend to do with your project.
     In developing the Project Narrative section of 
your application, use these instructions, which have been tailored to 
this program. These are to be used instead of the ``Program Narrative'' 
instructions found in the PHS 5161-1.
     The Project Narrative (Sections A-D) together 
may be no longer than 25 pages.
     You must use the four sections/headings listed 
below in developing your Project Narrative. Be sure to place the 
required information in the correct section, or it will not be 
considered. Your application will be scored according to how well you 
address the requirements for each section of the Project Narrative.
     Reviewers will be looking for evidence of 
cultural competence in each section of the Project Narrative. Points 
will be assigned based on how well you address the cultural competence 
aspects of the evaluation criteria. SAMHSA's guidelines for cultural 
competence can be found on the SAMHSA Web site at

[[Page 19203]]

www.samhsa.gov. Click on ``Grant Opportunities.''
     The Supporting Documentation you provide in 
Sections E-H and Appendices 1-5 will be considered by reviewers in 
assessing your response, along with the material in the Project 
Narrative.
     The number of points after each heading is the 
maximum number of points a review committee may assign to that section 
of your Project Narrative. Except as provided in Section B below, 
bullet statements in each section do not have points assigned to them. 
They are provided to invite the attention of applicants and reviewers 
to important areas within the criterion.
Section A: Understanding the Problem, Justification of Need, and 
Project Description, 20 points
     For the proposed project, discuss offender 
reentry, showing an understanding of the substance abuse relationship 
to crime, the obstacles to effective reentry, and solutions to the 
obstacles. Review recent literature and other information that 
demonstrates a thorough understanding of the substance abuse issues in 
the proposed target population.
     Describe the problem the project will address in 
terms of unmet treatment need for the target population, using local 
data to the extent possible.
     Clearly indicate which one of the target 
populations (sentenced juveniles or young adults) are to be served, and 
provide the rationale for selecting the target population.
     Describe the target population in terms of 
demographics, and demonstrate that the target population meets the 
qualifications listed in Section I-2.1, Target Population in this RFA.
     Describe the geographic area that will have 
access to expanded or enhanced services and provide recent population 
numbers for the area.
     Fully describe existing services, including the 
number and type of current treatment services/slots/beds available and 
the number of people currently being served.
Section B: Project Plan, 35 points
     Describe the proposed project for meeting the 
needs you described above in Section A: Understanding the Problem, 
Justification of Need, and Project Description, making sure that the 
design is consistent with Section I-2, Expectations, in this RFA.
     Demonstrate an understanding of key stakeholder 
partnerships needed to plan, develop, and provide substance abuse 
treatment and related reentry services. Applicants must show evidence 
of stakeholder partnership by including Letters of Support and 
Commitment, signed by the head of the agency/organization, from key 
partners critical to the success of the proposed project in Appendix 2 
of the application. (Note: For purposes of rating the understanding of 
key stakeholder partnerships needed, and the presence of signed Letters 
of Support and Commitment from key partners in Appendix 2, reviewers 
will be instructed to use 9 of the total 35 points allowed for Section 
B for this single critical requirement).
     Describe the systems linkages component of the 
project design, and define the role and responsibility of each 
stakeholder. Identify any cash or in-kind contributions that will be 
made to the project by the applicant or other partnering organizations.
     By grant year, fully describe the number of 
additional people to be served each year with the grant funds, and the 
four-year total. State the types of services you will provide these 
individuals.
     Explain the time frame for year one planning of 
systems coordination and development; indicate the proposed number of 
months of planning before actual services provision. (Make sure to 
comply with the RFA requirement that only up to six months of year one 
may be used for this purpose.)
     Explain how you propose to provide services to 
the target population in the correctional or detention facility and 
which services will be provided there. Discuss how these services are 
consistent with the limitations on funding within correctional settings 
specified under Section I-2, Expectations, in this RFA.
     Explain how you propose to provide services to 
the target population after return to the community, which treatment 
and related reentry services will be provided, who will provide these 
services, and how the stakeholders' partnership will coordinate the 
services and supervision.
     Demonstrate how the proposed project will have a 
significant impact on the described need during the four years of 
funding. Demonstrate that the number of persons to be served and the 
anticipated outcomes of service represent an effective use of funds 
requested.
     Discuss how the project will address age, race/
ethnic, cultural, language, sexual orientation, disability, literacy, 
and gender issues relative to the target population.
Section C: Evaluation/GPRA, 15 points
     Describe plans to comply with GPRA requirements, 
including the collection of CSAT's GPRA Core Client Outcomes, and 
tracking and follow-up procedures to meet the 80% follow-up standard.
     Describe the process and outcome evaluation, 
including assessments of implementation and individual outcomes. Show 
how the evaluation will be integrated with requirements for collection 
and reporting of performance data, including data required by SAMHSA to 
meet GPRA requirements.
     Discuss instruments to be used, including their 
reliability, validity, and cultural appropriateness. Document the 
appropriateness of the proposed approaches to gathering quantitative 
and qualitative data for the target population. Address not only 
traditional reliability and validity but also sensitivity to age, 
gender, language, sexual orientation, culture, literacy, disability and 
racial/ethnic characteristics of the target population.
     Provide examples of forms that will be signed by 
clients that permit the appropriate exchange of treatment and other 
information between the named agencies (i.e., confidentiality waiver 
forms). Further, provide any data sharing agreements that the key 
stakeholders will use. Place all of this documentation in Appendices 3 
(Data Collection Instruments/Interview Protocols) and 4 (Sample Consent 
Forms) of your application.
Section D: Project Management, 30 points

Implementation and Operation Plan

     Present a plan for the implementation and 
operation of the project to achieve the intended results. Include a 
schedule and timeline of activities and products, target dates and 
person(s) responsible; and how multi-agency and/or system arrangements 
will be implemented and managed.
     Describe how the applicant will provide 
effective management, fiscal, and administrative monitoring and 
oversight of the grant including the treatment providers and other 
contractors (including evaluators).
     Demonstrate that the project will be fully 
operational within six months and providing treatment and related 
reentry services to the target population within the first year.

Organization Capability

     Describe your experience with the implementation 
of multi-agency systems partnerships and multi-system programs. Discuss 
how this experience

[[Page 19204]]

will contribute to the success of your project.
     If subcontractors are involved, describe their 
organizational capabilities, and what they will contribute to the 
project.

Staff and Staffing Plans

     Provide a staffing plan, showing an 
organizational chart. Include staff, consultants, subcontractors, and 
collaborating agencies.
     Provide the level of effort and qualifications 
of the Project Director and other key personnel.
     Provide evidence that the proposed staff have 
requisite training, experience, and cultural sensitivity to provide 
services to the target population. Show evidence of the appropriateness 
of the proposed staff to the language, age, gender, sexual orientation, 
disability, literacy, and ethnic, racial, and cultural factors of the 
target population.

Equipment and Facilities

     Describe facilities and equipment available to 
the project, and any equipment that will have to be procured for the 
project. Equipment and facilities must be shown to be adequate for the 
proposed project activities; accessible to the target population; and 
American Disabilities Act compliant.

Budget, Sustainability and Other Support

     Provide a per-person or unit cost of the project 
to be implemented, based on the applicant's actual costs and projected 
costs over the life of the project. Applicants must state whether or 
not the per person costs are within the following reasonable ranges by 
treatment modality. Applicants must also discuss the reasonableness of 
the per person costs. If proposed costs exceed reasonable ranges, a 
detailed justification must be provided.
     Program costs. The following are considered 
reasonable ranges by treatment modality:
    Residential: $3,000 to $10,000.
    Outpatient (Non-Methadone): $1,000 to $5,000.
    Outpatient (Methadone): $1,500 to $8,000.
    Intensive Outpatient: $1,500 to $7,500.
    Screen/Brief Intervention/Brief Treatment/Outreach/Pretreatment 
Services: $200 to $1,200.
    SAMHSA/CSAT computes per person costs as follows. The total support 
requested for the life of the project is multiplied by .8 (.2 will be 
the allowance for GPRA reporting requirements). The resulting amount is 
then divided by the number of persons the applicant proposes to serve 
over the life of the project.
    The outreach and pretreatment services cost band only applies to 
outreach and pretreatment programs that do not also offer treatment 
services but operate within a network of substance abuse treatment 
facilities. Treatment programs that add outreach and pretreatment 
services to a treatment modality or modalities are expected to fall 
within the cost band for that treatment modality.
     Provide a plan to secure resources or obtain 
support to continue activities funded by this program at the end of the 
period of Federal funding.


    Note: Although the budget for the proposed project is not a 
review criterion, the Review Group will be asked to comment on the 
appropriateness of the budget after the merits of the application 
have been considered.


    In submitting the line item budgets for each year of the proposed 
grant, the applicant is to use annualized budgets that are the same 
each year. This means that the amount requested in the first year (for 
example, $300,000 in total costs) should be the amount requested for 
each of the remaining three years ($300,000). Applicants should request 
a full year's funding in the first year although there is recognition 
that most projects will not begin operating and serving clients 
immediately.
    Applicants may build in cost-of-living increases for the second, 
third, and fourth years, but the costs must come from within the other 
budget lines. For example, an applicant may increase salaries by 3% in 
accordance with cost of living increases, but the total amount of the 
budget request must remain at the year one level (using the above 
indicated example, $300,000 for each year).

2. Review and Selection Process

    SAMHSA applications are peer-reviewed according to the review 
criteria listed above. For those programs where the individual award is 
over $100,000, applications must also be reviewed by the appropriate 
National Advisory Council.
    Decisions to fund a grant are based on:
     The strengths and weaknesses of the application 
as identified by peer reviewers and, when applicable, approved by the 
appropriate National Advisory Council;
     Availability of funds;
     Equitable distribution of awards in terms of 
geography (including urban, rural and remote settings) and balance 
among target populations and program size.
     After applying the aforementioned criteria, the 
following method for breaking ties: When funds are not available to 
fund all applications with identical scores, SAMHSA will make award 
decisions based on the application(s) that received the greatest number 
of points by peer reviewers on the evaluation criterion in Section V-1 
with the highest number of possible points (Section B: Project Plan--35 
points). Should a tie still exist, the evaluation criterion with the 
next highest possible point value will be used, continuing sequentially 
to the evaluation criterion with the lowest possible point value, 
should that be necessary to break all ties. If an evaluation criterion 
to be used for this purpose has the same number of possible points as 
another evaluation criterion, the criterion listed first in Section V-1 
will be used first.

VI. Award Administration Information

1. Award Notices

    After your application has been reviewed, you will receive a letter 
from SAMHSA through postal mail that describes the general results of 
the review, including the score that your application received.
    If you are approved for funding, you will receive an additional 
notice, the Notice of Grant Award, signed by SAMHSA's Grants Management 
Officer. The Notice of Grant Award is the sole obligating document that 
allows the grantee to receive Federal funding for work on the grant 
project. It is sent by postal mail and is addressed to the contact 
person listed on the face page of the application.

2. Administrative and National Policy Requirements

     You must comply with all terms and conditions of 
the grant award. SAMHSA's standard terms and conditions are available 
on the SAMHSA Web site www.samhsa.gov/grants/2004/useful_info.asp.
     Depending on the nature of the specific funding 
opportunity and/or the proposed project as identified during review, 
additional terms and conditions may be negotiated with the grantee 
prior to grant award. These may include, for example:

--Actions required to be in compliance with human subjects 
requirements;
--Requirements relating to additional data collection and reporting;
--Requirements relating to participation in a cross-site evaluation; or
--Requirements to address problems identified in review of the 
application.

[[Page 19205]]

     You will be held accountable for the information 
provided in the application relating to performance targets. SAMHSA 
program officials will consider your progress in meeting goals and 
objectives, as well as your failures and strategies for overcoming 
them, when making an annual recommendation to continue the grant and 
the amount of any continuation award. Failure to meet stated goals and 
objectives may result in suspension or termination of the grant award, 
or in reduction or withholding of continuation awards.
     In an effort to improve access to funding 
opportunities for applicants, SAMHSA is participating in the U.S. 
Department of Health and Human Services ``Survey on Ensuring Equal 
Opportunity for Applicants.'' This survey is included in the 
application kit for SAMHSA grants. Applicants are encouraged to 
complete the survey and return it, using the instructions provided on 
the survey form.

3. Reporting Requirements

3.1 Progress and Financial Reports
     Grantees must provide semi-annual (6 months) and 
final progress reports. The final report must summarize information 
from the semi-annual reports, describe the accomplishments of the 
project, and describe next steps for implementing plans developed 
during the grant period.
     Grantees must provide annual and final financial 
status reports. These reports may be included as separate sections of 
semi-annual and final progress reports or can be separate documents. 
Because SAMHSA is extremely interested in ensuring that treatment 
services can be sustained, your financial reports should explain plans 
to ensure the sustainability (see Glossary) of efforts initiated under 
this grant. Initial plans for sustainability should be described in 
year 01. In each subsequent year, you should describe the status of 
your project, as well as the successes achieved and obstacles 
encountered in that year.
     SAMHSA will provide guidelines and requirements 
for these reports to grantees at the time of award and at the initial 
grantee orientation meeting after award. SAMHSA staff will use the 
information contained in the reports to determine the grantee's 
progress toward meeting its goals.
3.2 Government Performance and Results Act (GPRA)
    The Government Performance and Results Act (GPRA) mandates 
accountability and performance-based management by Federal agencies. To 
meet the GPRA requirements, SAMHSA must collect performance data (i.e., 
``GPRA data'') from grantees. These requirements are specified in 
Section I-2.7, Expectations, Data and Performance Measurement, in this 
RFA.
3.3 Publications
    If you are funded under this grant program, you are required to 
notify the Government Project Officer (GPO) and SAMHSA's Publications 
Clearance Officer (301-443-8596) of any materials based on the SAMHSA-
funded grant project that are accepted for publication.
    In addition, SAMHSA requests that grantees:
     Provide the GPO and SAMHSA Publications 
Clearance Officer with advance copies of publications.
     Include acknowledgment of the SAMHSA grant 
program as the source of funding for the project.
     Include a disclaimer stating that the views and 
opinions contained in the publication do not necessarily reflect those 
of SAMHSA or the U.S. Department of Health and Human Services, and 
should not be construed as such.
    SAMHSA reserves the right to issue a press release about any 
publication deemed by SAMHSA to contain information of program or 
policy significance to the substance abuse treatment/substance abuse 
prevention/mental health services community.

VII. Agency Contacts

    For questions on program issues, contact: Kenneth W. Robertson, 
Team Leader, Systems Improvement Branch, Division of Services 
Improvement, CSAT/SAMHSA, Rockwall II/Suite 740, 5600 Fishers Lane, 
Rockville, MD 20857, (301) 443-7612, E-mail: [email protected].
    For questions on grants management issues, contact: Kathleen 
Sample, SAMHSA, Division of Grants Management, 5600 Fishers Lane, 
Rockwall II 6th Floor, Rockville, MD 20857, (301) 443-9667, E-mail: 
[email protected].

Appendix A--Checklist for Formatting Requirements and Screenout 
Criteria for SAMHSA Grant Applications

    SAMHSA's goal is to review all applications submitted for grant 
funding. However, this goal must be balanced against SAMHSA's 
obligation to ensure equitable treatment of applications. For this 
reason, SAMHSA has established certain formatting requirements for 
its applications. If you do not adhere to these requirements, your 
application will be screened out and returned to you without review. 
In addition to these formatting requirements, programmatic 
requirements (e.g., relating to eligibility) may be stated in the 
specific funding announcement. Please check the entire funding 
announcement before preparing your application.
     Use the PHS 5161-1 application.
     Applications must be received by the 
application deadline. Applications received after this date must 
have a proof of mailing date from the carrier dated at least 1 week 
prior to the due date. Private metered postmarks are not acceptable 
as proof of timely mailing. Applications not received by the 
application deadline or not postmarked at least 1 week prior to the 
application deadline will not be reviewed.
     Information provided must be sufficient for 
review.
     Text must be legible.

--Type size in the Project Narrative cannot exceed an average of 15 
characters per inch, as measured on the physical page. (Type size in 
charts, tables, graphs, and footnotes will not be considered in 
determining compliance.)
--Text in the Project Narrative cannot exceed 6 lines per vertical 
inch.

     Paper must be white paper and 8.5 inches by 
11.0 inches in size.
     To ensure equity among applications, the 
amount of space allowed for the Project Narrative cannot be 
exceeded.

--Applications would meet this requirement by using all margins 
(left, right, top, bottom) of at least one inch each, and adhering 
to the page limit for the Project Narrative stated in the specific 
funding announcement.
--Should an application not conform to these margin or page limits, 
SAMHSA will use the following method to determine compliance: The 
total area of the Project Narrative (excluding margins, but 
including charts, tables, graphs and footnotes) cannot exceed 58.5 
square inches multiplied by the total number of allowed pages. This 
number represents the full page less margins, multiplied by the 
total number of allowed pages.
--Space will be measured on the physical page. Space left blank 
within the Project Narrative (excluding margins) is considered part 
of the Project Narrative, in determining compliance.

     The page limit for Appendices stated in the 
specific funding announcement cannot be exceeded.
    To facilitate review of your application, follow these 
additional guidelines. Failure to adhere to the following guidelines 
will not, in itself, result in your application being screened out 
and returned without review. However, the information provided in 
your application must be sufficient for review. Following these 
guidelines will help ensure your application is complete, and will 
help reviewers to consider your application.
     The 10 application components required for 
SAMHSA applications should be included. These are:

--Face Page (Standard Form 424, which is in PHS 5161-1)
--Abstract
--Table of Contents
--Budget Form (Standard Form 424A, which is in PHS 5161-1)

[[Page 19206]]

--Project Narrative and Supporting Documentation
--Appendices
--Assurances (Standard Form 424B, which is in PHS 5161-1)
--Certifications (a form within PHS 5161-1)
--Disclosure of Lobbying Activities (Standard Form LLL, which is in 
PHS 5161-1)
--Checklist (a form in PHS 5161-1)

     Applications should comply with the following 
requirements:

--Provisions relating to confidentiality, participant protection and 
the protection of human subjects specified in Section IV-2.4 of the 
specific funding announcement.
--Budgetary limitations as specified in Sections I, II, and IV-5 of 
the specific funding announcement.
--Documentation of nonprofit status as required in the PHS 5161-1.

     Pages should be typed single-spaced with one 
column per page.
     Pages should not have printing on both sides.
     Please use black ink and number pages 
consecutively from beginning to end so that information can be 
located easily during review of the application. The cover page 
should be page 1, the abstract page should be page 2, and the table 
of contents page should be page 3. Appendices should be labeled and 
separated from the Project Narrative and budget section, and the 
pages should be numbered to continue the sequence.
     Send the original application and two copies 
to the mailing address in the funding announcement. Please do not 
use staples, paper clips, and fasteners. Nothing should be attached, 
stapled, folded, or pasted. Do not use heavy or lightweight paper or 
any material that cannot be copied using automatic copying machines. 
Odd-sized and oversized attachments such as posters will not be 
copied or sent to reviewers. Do not include videotapes, audiotapes, 
or CD-ROMs.

Appendix B--Glossary

    Best Practice: Best practices are practices that incorporate the 
best objective information currently available regarding 
effectiveness and acceptability.
    Catchment Area: A catchment area is the geographic area from 
which the target population to be served by a program will be drawn.
    Cooperative Agreement: A cooperative agreement is a form of 
Federal grant. Cooperative agreements are distinguished from other 
grants in that, under a cooperative agreement, substantial 
involvement is anticipated between the awarding office and the 
recipient during performance of the funded activity. This 
involvement may include collaboration, participation, or 
intervention in the activity. HHS awarding offices use grants or 
cooperative agreements (rather than contracts) when the principal 
purpose of the transaction is the transfer of money, property, 
services, or anything of value to accomplish a public purpose of 
support or stimulation authorized by Federal statute. The primary 
beneficiary under a grant or cooperative agreement is the public, as 
opposed to the Federal Government.
    Cost-Sharing or Matching: Cost-sharing refers to the value of 
allowable non-Federal contributions toward the allowable costs of a 
Federal grant project or program. Such contributions may be cash or 
in-kind contributions. For SAMHSA grants, cost-sharing or matching 
is not required, and applications will not be screened out on the 
basis of cost-sharing. However, applicants often include cash or in-
kind contributions in their proposals as evidence of commitment to 
the proposed project. This is allowed, and this information may be 
considered by reviewers in evaluating the quality of the 
application.
    Fidelity: Fidelity is the degree to which a specific 
implementation of a program or practice resembles, adheres to, or is 
faithful to the evidence-based model on which it is based. Fidelity 
is formally assessed using rating scales of the major elements of 
the evidence-based model. A toolkit on how to develop and use 
fidelity instruments is available from the SAMHSA-funded Evaluation 
Technical Assistance Center at http://tecathsri.org or by calling 
(617) 876-0426.
    Grant: A grant is the funding mechanism used by the Federal 
Government when the principal purpose of the transaction is the 
transfer of money, property, services, or anything of value to 
accomplish a public purpose of support or stimulation authorized by 
Federal statute. The primary beneficiary under a grant or 
cooperative agreement is the public, as opposed to the Federal 
Government.
    In-Kind Contribution: In-kind contributions toward a grant 
project are non-cash contributions (e.g., facilities, space, 
services) that are derived from non-Federal sources, such as State 
or sub-State non-Federal revenues, foundation grants, or 
contributions from other non-Federal public or private entities.
    Practice: A practice is any activity, or collective set of 
activities, intended to improve outcomes for people with or at risk 
for substance abuse and/or mental illness. Such activities may 
include direct service provision, or they may be supportive 
activities, such as efforts to improve access to and retention in 
services, organizational efficiency or effectiveness, community 
readiness, collaboration among stakeholder groups, education, 
awareness, training, or any other activity that is designed to 
improve outcomes for people with or at risk for substance abuse or 
mental illness.
    Practice Support System: This term refers to contextual factors 
that affect practice delivery and effectiveness in the pre-adoption 
phase, delivery phase, and post-delivery phase, such as (a) 
Community collaboration and consensus building, (b) training and 
overall readiness of those implementing the practice, and (c) 
sufficient ongoing supervision for those implementing the practice.
    Stakeholder: A stakeholder is an individual, organization, 
constituent group, or other entity that has an interest in and will 
be affected by a proposed grant project.
    Sustainability: Sustainability is the ability to continue a 
program or practice after SAMHSA grant funding has ended.
    Target Population: The target population is the specific 
population of people whom a particular program or practice is 
designed to serve or reach.
    Wraparound Service: Wraparound services are non-clinical 
supportive services--such as child care, vocational, educational, 
and transportation services--that are designed to improve the 
individual's access to and retention in the proposed project.

Appendix C--Statement of Assurance

    As the authorized representative of the applicant organization, 
I assure SAMHSA that if {insert name of organization{time}  
application is within the funding range for a grant award, the 
organization will provide the SAMHSA Government Project Officer 
(GPO) with the following documents. I understand that if this 
documentation is not received by the GPO within the specified 
timeframe, the application will be removed from consideration for an 
award and the funds will be provided to another applicant meeting 
these requirements.
     A letter of commitment that specifies the 
nature of the participation and what service(s) will be provided 
from every service provider organization, listed in Appendix 1 of 
the application, that has agreed to participate in the project;
     Official documentation that all service 
provider organizations participating in the project have been 
providing relevant services for a minimum of 2 years prior to the 
date of the application in the area(s) in which services are to be 
provided. Official documents must definitively establish that the 
organization has provided relevant services for the last 2 years; 
and
     Official documentation that all participating 
service provider organizations are in compliance with all local 
(city, county) and State/tribal requirements for licensing, 
accreditation, and certification or official documentation from the 
appropriate agency of the applicable State/tribal, county, or other 
governmental unit that licensing, accreditation, and certification 
requirements do not exist. (Official documentation is a copy of each 
service provider organization's license, accreditation, and 
certification. Documentation of accreditation will not be accepted 
in lieu of an organization's license. A statement by, or letter 
from, the applicant organization or from a provider organization 
attesting to compliance with licensing, accreditation and 
certification or that no licensing, accreditation, certification 
requirements exist does not constitute adequate documentation.)
Signature of Authorized Representative---------------------------------

 Date------------------------------------------------------------------


    Dated: April 6, 2004.
Daryl Kade,
Director, Office of Policy, Planning and Budget, Substance Abuse and 
Mental Health Services Administration.
[FR Doc. 04-8207 Filed 4-9-04; 8:45 am]
BILLING CODE 4162-20-P